- JPMorgan Chase (Plano, TX)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about...be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will… more
- Charles Schwab (Westlake, TX)
- …Testing, Reg YY. * Demonstrated detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer. * Regulatory financial ... liquidity and funding planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory… more
- Marex (Houston, TX)
- …as required + To escalate risk events immediately + To provide input to risk management processes, as required. The Company may require you to carry out ... some of the largest commodity producers, consumers and traders, banks , hedge funds and asset managers. With more than...Purpose of Role: Marex is seeking a Fuel Oil Broker who is an experienced, ambitious, and proactive individual,… more
- Marex (Houston, TX)
- …as required. + To escalate risk events immediately. + To provide input to risk management processes, as required. The Company may require you to carry out ... some of the largest commodity producers, consumers and traders, banks , hedge funds and asset managers. With more than...under the applicable regulators. + Adhere to the operational risk framework for your role ensuring that all regulatory… more
- Comerica (Dallas, TX)
- …customer interviews. * Monitor trends and determine customer acceptance of assigned product(s). Risk Management : * Assess and monitor client risk exposure ... Payment Processors, Money Service Businesses (MSBs), Financial Institutions and Non- Bank Financial Institutions, including Payroll Providers, Broker Dealers,… more
- TD Bank (Houston, TX)
- …and understands the Trading Supervision Standard + Demonstrates governance, control and risk management behaviours in alignment with TD policies and practices ... and executes the trade + Ensures all trades are confirmed with the broker /dealer + Inputs trades (post execution), and Verifies transactions meet company policies… more
- JPMorgan Chase (Houston, TX)
- …meet their financial needs. As a Market Director of Wealth in JP Morgan Wealth Management , you will create a culture of excellence and an environment that meets a ... our customer obsessed culture. We make it easy to bank and invest when, where and how our customers...promote Advisors + Drive integration with partners from Branch Management , Business Banking and Home Lending to give our… more
- JPMorgan Chase (Plano, TX)
- …operational risk , and supervisory requirements within JP Morgan Wealth Management . Our firm provides comprehensive strategies and expertise across asset classes ... JP Morgan Wealth Management provides individuals, advisors and institutions with strategies...OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK , NA OR ANY OF ITS AFFILIATES * SUBJECT… more
- Lincoln Financial (Austin, TX)
- …regulations and industry best practices. + Intermediate knowledge of compliance risk management theories and applications. + Intermediate general compliance ... a Compliance Analyst, you will conduct in-person and remote inspections of broker -dealer offices to examine the procedures and activities of the registered… more
- Broadridge Financial Solutions (Houston, TX)
- …Fintech leader, delivering technology-driven solutions that drive digital transformation for banks , broker -dealers, asset and wealth managers and public ... Manager, Sentry. Broadridge's "Sentry" business refers to its Sentry PM portfolio management technology, a cloud-based solution designed for private debt, loans, and… more